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remediation research analyst 1 resume example with 6+ years of experience

Jessica Claire
  • Montgomery Street, San Francisco, CA 94105 609 Johnson Ave., 49204, Tulsa, OK
  • Home: (555) 432-1000
  • Cell:
  • resumesample@example.com
Professional Summary

Diligent and driven Research Analyst who has achieved success in a variety of roles with increasing levels of responsibility. An effective communicator and team-builder with strong analytical, management and organizational skills.

Skills
  • Demonstrate ability to make quick, yet sound decisions, and communicate negative and adverse messages professionally
  • Demonstrated ability to make quick, yet sound decisions, and communicate negative and adverse messages professionally
  • Strong attention to detail
  • Strong written and verbal presentation skills; excellent client-facing public relations skills
  • Excellent PC Skills, including Internet Research, Microsoft Excel, Access, Word; ability to learn new database applications
  • Excellent research skills including experience with online search tools
  • Excellent organizational, time management and project management skills
Work History
Remediation/Research Analyst 1, 01/2019 to Current
Northwestern Benefit Corporation Of GeorgiaWexford, PA,
  • Serves as an advocate for family members and/or personal representatives for deceased customers who call looking to handle financial affairs across Wells Fargo.
  • Assists with new hire training classes to prepare them for their new roles before transitioning onto the call center floor and continue as a mentor after classes transition.
  • Reviews legal documents (probate documents, court orders, subpoenas, etc.) that are received by bankers to ensure that they are sufficient to proceed with account closures, releasing funds and/or releasing deceased customers’ information.
  • Effectively manages risk by doing due diligence in complex situations where red flags arise which includes asking probing questions, looking into transaction history, and checking various online databases to prevent fraud.
  • Reviewed reports and individual transactions which appeared suspicious to uncover possible fraudulent activity.
  • Investigated deceased accounts when transactions were occurring after the date of death which included freezing accounts that were discovered to be deceased accounts based on obtaining clues from contacts and doing research to find online obituaries, etc.
  • Builds relationships with Line of Business partners across the Enterprise to better collaborate to assist our customers’ family members/representatives Models excellent customer service behaviors by accurately and concisely communicating in a positive, professional manner to both internal and external customers
  • Participating in a pilot group for testing process improvement initiative.
Broker-Dealer Operations Associate (CIP), 01/2017 to 01/2018
Ally InvestCity, STATE,
  • Performed security freeze out of wallet questions using Lexis Nexis for clients who have various credit freezes in a call center environment.
  • Communicated effectively with peers, front-line and management when requesting information or documentation and addressing concerns or findings
  • Worked within the CIP (Customer Identification Program) team, who requested client identification to verify the identity of the client
  • Assisted in ensuring ongoing due diligence efforts are maintained while identifying substantive changes to customer profiles
  • Completed fraud referrals when I came across suspicious customers including freezing accounts before AML team reviewed the account.
  • Assisted with executing client onboarding processes.
  • Froze and close accounts as requested by compliance or based on legal and business rules including but not limited to failing CIP requirements.
  • Restricted online access based on compliance and business rules.
  • Performed CIP Screening/CDD reviews on prospects and new/existing customers in accordance with the Bank's policies and procedures.
  • Completed all job-related training in a timely manner and attended seminars or continuing education, as directed.
Wealth Management Operations Associate, 01/2014 to 01/2018
MassMutualCity, STATE,
  • Prepared, reviewed, and processed new account paperwork for establishing complex standard, fee based and/or advisory brokerage accounts.
  • Collaborated with Lead Specialists to problem solve and provide continuous improvement.
  • Trained Investment Service Specialists on new business procedures.
  • Developed relationships with internal operation groups and Investment Advisors.
  • Built new accounts in UAO/Wealthscape and M&O (Brokerage/Advisory and Direct).
  • Communicated with Financial Advisors to ensure proper completion of new acct paperwork.
  • Coordinated with registered Principals, Agents, and Financial Advisors to resolve Not in Good Order (NIGO) issues with new Mutual Fund, 529, and Alternative Investment applications.
  • Verified financial advisor FINRA licensing, registrations, and training.
Education
BBA: Finance, Expected in 05/2022
Southern New Hampshire University - Hooksett, NH
GPA:

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Resume Overview

School Attended

  • Southern New Hampshire University

Job Titles Held:

  • Remediation/Research Analyst 1
  • Broker-Dealer Operations Associate (CIP)
  • Wealth Management Operations Associate

Degrees

  • BBA

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